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FINRA Broker Allegations

Allegations against: Andrew William Miles

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Claimant alleges breach of fiduciary duty; negligence; negligent supervision; fraud; declaratory judgement; violation of the florida securities and investor protection act; violation of the oregon securities law; violation of sections 10(b) of the securities exchange act, and rule 10b-5 of the securities and exchange commission.

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